Stinson Leonard Street Dodd Frank

MAKING SENSE OF DODD-FRANK

The Dodd-Frank Act has broad and deep implications that will touch every corner of financial services and multiple other industries. This site, developed and maintained by attorneys at Stinson Leonard Street, is dedicated to making sense of this complex legislation and helping businesses understand how it will affect them specifically. Our Bloggers »

Latest Dodd-Frank Posts

Revealing Whistleblower’s Identity is Retaliation

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Employment, Litigation, Public Companies and Securities The United States Court of Appeals for the Fifth Circuit held that revealing a whistleblower’s identity is prohibited retaliation under the Sarbanes-Oxley Act in Halliburton, Inc. v. Administrative Review Board, United States Department of Labor. The facts were pretty straightforward.  Anthony Menendez, an employee of Halliburton, used the company’s internal procedures to submit a complaint... Read more →

by   |   November 14, 2014

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NYC Pension Fund Submits 75 Proxy Access Proposals

Public Companies and Securities New York City Comptroller Scott M. Stringer, on behalf of the $160 billion New York City Pension Funds, has submitted proxy access shareowner proposals to 75 companies.  The... Read more →

by   |   November 13, 2014

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SEC Finds Crowdfunding Website a General Solicitation and Violated Broker-Dealer Rules

Litigation, Public Companies and Securities In a settled enforcement action, the SEC alleged the defendant failed to implement procedures reasonably designed to prevent U.S. persons from accessing and investing in... Read more →

by   |   November 10, 2014

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New Surprises in Final 2015 ISS Policy Updates

Executive Compensation, Public Companies and Securities ISS has issued its 2015 policy updates. Unilateral Bylaw/Charter Amendments This policy is new stand-alone policy.  Previously these matters were evaluated under the ISS... Read more →

by   |   November 6, 2014